N. M. ROTHSCHILD & SONS LIMITED

• Principal Place of Business

  New Court

  St Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +4402072805000

  Web

  https://www.rothschildandco.com

• Complaints Contact

  New Court

  St Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +4402072805000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Advice to retail clients is limited to corporate finance business only
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Christopher Mahendra Kaladeen

  IRN CXK01084

  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
  • CF30 Customer (19 Sep 2016 to 8 Dec 2019)
• Christopher Mark Blunt

  IRN CMB01083

  • CF1 Director (31 Aug 2004 to 13 Dec 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 15 Jul 2005)
• Christopher Mark Dilworth

  IRN CMD01084

  • CF21 Investment Adviser (24 Oct 2003 to 4 Feb 2005)
• Christopher Mark Frederick Hawley

  IRN CMH01081

  • [FCA CF] Manager of certification employee (since 5 Jul 2021)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • CF30 Customer (21 Oct 2016 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 3 Aug 2007)
• Christopher Mark Heesom

  IRN CMH01186

  • [FCA CF] Client dealing (31 Dec 2020 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (31 Dec 2020 to 30 Sep 2024)
  • CF30 Customer (3 Aug 2015 to 6 Mar 2016)
• Christopher Michael Brooks

  IRN CMB01093

  • CF30 Customer (1 Nov 2007 to 31 Aug 2009)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Montague Cornforth

  IRN CMC01064

  • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Nicholas Hintzen

  IRN CXH17115

  • CF30 Customer (11 Jul 2019 to 9 Aug 2019)
• Christopher Nicholas Sebastian Jehan Candfield

  IRN CNC01041

  • CF30 Customer (22 Dec 2009 to 10 Sep 2012)
• Christopher Thomas Wright

  IRN CTW01027

  • CF30 Customer (1 Nov 2007 to 8 Nov 2013)
  • CF23 Corporate Finance Adviser (18 Feb 2005 to 31 Oct 2007)

• Rothschild & Co Europe Partnership (no longer appointed)

  FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021

• Lanebridge Investment Management Limited (no longer appointed)

  FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024

No changes recorded yet.